RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
J••• A•••••••• O•••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Jan 24, 2023 · Wayne, Pa
- L•• F•••••••• L•• BD affiliatedJul 21, 2015 to Feb 2, 2023 · Wayne, Pa
- O•••• F•• I••• formerMar 21, 2013 to Jul 28, 2015 · Abington, Pa
- P•••••••• S••••••••• I••• BD affiliatedMay 4, 2009 to Mar 15, 2013 · Abington, Pa
- C••••• A•••••• N••••••• L•• formerJun 13, 2008 to Jul 11, 2008 · Abington, Pa
- L•• F•••••••• L•• to P•••••••• S••••••••• I•••left Feb 2, 2023, registered Jan 24, 2023 (-9 days) · RIA to affiliated broker-dealer or bank
- O•••• F•• I••• to L•• F•••••••• L••left Jul 28, 2015, registered Jul 21, 2015 (-7 days) · Other
- P•••••••• S••••••••• I••• to O•••• F•• I•••left Mar 15, 2013, registered Mar 21, 2013 (6 days) · Other
- C••••• A•••••• N••••••• L•• to P•••••••• S••••••••• I•••left Jul 11, 2008, registered May 4, 2009 (297 days) · Other
- J••• A•••••••• O••••• left L•• F•••••••• L•• for P•••••••• S••••••••• I••• (registered 2023-01-24)Feb 2, 2023 · a•••••• firm change · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address